Jeffrey I. Schwartz
Professional summary
Jeffrey I. Schwartz is a registered financial professional currently at MCS CAPITAL MARKETS LLC located in New York, New York and KKR CAPITAL MARKETS LLC located in New York, New York.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2019. Jeffrey has worked at 2 firms and has passed the Series 99TO, Series 79TO, Series 7TO, SIE, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey I. Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 13, 2019 - Present
MCS CAPITAL MARKETS LLC
Office #1: 30 Hudson Yards, New York, NY 10001February 13, 2019 - Present
KKR CAPITAL MARKETS LLC
Office #1: 30 Hudson Yards, New York, NY 10001State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 8/28/2019
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 2/13/2019
General Securities Representative ExaminationFINRA
Current Firm
KKR CAPITAL MARKETS LLC
CRD#: 143571 / SEC#: , 8-67578
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KKR CAPITAL MARKETS HOLDINGS L.P. | SOLE MEMBER | |
| KNOX, JOHN JOSEPH | PRINCIPAL FINANCIAL OFFICER | 2605046 |
| KNOX, JOHN JOSEPH | CHIEF FINANCIAL OFFICER, FINANCIAL/ OPERATIONS PRINCIPAL | 2605046 |
| KNOX, JOHN JOSEPH | PRINCIPAL OPERATING OFFICER | 2605046 |
| MOGELOF, ERIC JAY | HEAD OF CLIENT PARTNER GROUP | 4558632 |
| SCHWARTZ, JEFFREY I. | CHIEF COMPLIANCE OFFICER | 4961301 |
| SMITH, ADAM | CHIEF EXECUTIVE OFFICER | 5748435 |
| THOMPSON, WILLIAM CADE | CHIEF OPERATING OFFICER | 4566364 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
